Office of Hearing Officers
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type |
Order No. |
|---|---|---|---|---|
| Nov 13, 2018 | 2016050205901 | APPEALED: Charles A. Laverty | Disciplinary Decision | |
| Mar 22, 2005 | C9B040069 | Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger | Disciplinary Decision | |
| Sep 3, 2003 | CAF010011 | Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander | Disciplinary Decision | |
| Mar 12, 2015 | FPI140011 | Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky | Expedited Decision, Rule 9550 Expedited Decisions | |
| Mar 14, 2002 | ARB010032 | Non-Summary Suspension Proceeding ARB010032 | Expedited Decision, Non-Summary Proceeding | |
| Apr 15, 2013 | 2011030192201 | Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III | Disciplinary Decision | |
| Aug 15, 2008 | 2005001729501 | Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner | Disciplinary Decision | |
| Oct 8, 2010 | 2007009461301 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Nov 5, 2002 | C01010009 | Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley | Disciplinary Decision | |
| Oct 23, 2015 | 2013038136101 | Andrew Lyman Quinn, | Disciplinary Decision | |
| Nov 6, 2015 | 2014041319201 | APPEALED: Miguel Ortiz | Disciplinary Decision | |
| Aug 3, 1999 | ARB990014 | Non-Summary Suspension Proceeding ARB990014 | Expedited Decision, Non-Summary Proceeding | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| Jan 11, 2017 | 2013037097602 | Jeffery A. Vaughn | Disciplinary Decision | |
| Jun 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| Oct 15, 2001 | CMS000142 | Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa | Disciplinary Decision | |
| Aug 16, 2017 | 2014043020901 | Matthew J. Dodds | Disciplinary Decision | |
| Feb 7, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| Nov 14, 2018 | 2014041862701 | APPEALED: Spencer Edwards, Inc. | Disciplinary Decision | |
| Apr 6, 2005 | C9B040020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision | |
| Dec 3, 2009 | 2006007544401 | Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien | Disciplinary Decision | |
| Jan 28, 2002 | ARB010016 | Non-Summary Suspension Consolidated Proceeding ARB010016 | Expedited Decision, Non-Summary Proceeding | |
| Apr 4, 2013 | 20070094013 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Dec 21, 2005 | C01050008 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| May 31, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | Disciplinary Order |